Articles Tagged with Miami Florida Stockbroker Misconduct Lawyer

Leon Dixon, a broker formerly registered with AXA Advisors, LLC, submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which he consented to, but did not admit to or deny, the Financial Industry Regulatory Authority’s (FINRA) findings that he participated in private securities transactions in contravention of FINRA rules.

FINRA found that Leon Edward Dixon, of Miami, Florida, invested in a private company that offered telecommunications and broadband services.  Mr. Dixon allegedly solicited 15 firm customers to invest in the company, allegedly assisting the clients with sending their payment checks to the company.  In total, the clients invested approximately $181,500 in the company.  According to FINRA, Mr. Dixon received nearly $15,000 in commissions from the company for his participation in the transactions. Continue Reading